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Search Results: REIT
Results 200-210 of about 245
Date: December 27, 2013
He did this by overconcentrating clients’ assets in illiquid securities, including REITs. ... FINRA’s settlement letter says that when Chackman submitted falsified documents, this allowed him to increase how much of customers’ accounts could be concentrated in REITs and other ...
Date: December 3, 2013
A Financial Industry Regulatory Authority panel says that National Planning Corp. must pay a $6.2 million REIT arbitration award to Minnesota investors Stacy and Ronnie Erickson. ... According to the FINRA award, which doesn’t name the REITs that the Ericksons ...
Date: November 25, 2013
Already, independent broker-dealers are headed toward selling $20 billion in nontraded REITS in 2013, which is nearly twice the amount that were sold in 2012. According to LPL Financial, its commissions for nontraded REITs and other alternative investments has gone ...
Date: November 23, 2013
In the dispute between investors and CommonWealth REIT (CWH) over whether to oust its board, an arbitration panel said that attempts by shareholder to remove trustees were not valid but that a new vote could go forward. ... They blamed ...
Date: October 22, 2013
REITs: Real estate investment scams may involve new development projects or buying, or beleaguered properties.
Date: September 4, 2013
., Commonwealth Financial Network, Lincoln Financial Advisors, and Royal Alliance Associates have consented to pay another $10.75 million in restitution over non-traded REITs that were sold to clients between 2005 and now. ... It was investors’ complaints that spurred the ...
Date: August 13, 2013
Certain mortgage REITs even had to use money that was borrowed to amplify possible returns. ... Unfortunately, a lot of mortgage REITs did not see the recent sharp rise in interest rates. ... That many of the REITs did not ...
Date: July 18, 2013
Securities America Stops Selling Nontraded REIT ARC V Securities America Inc. has severed ties with American Realty Capital Trust V Inc., a top-selling nontraded REIT. ... Already, between April, when the REIT launched, through the end of June, brokers have ...
Date: July 8, 2013
This type of REIT is hard to sell when a customer wants out. ... The Massachusetts’s regulator office will continue to look into REITs, in addition into oil and gas partnerships, structured products, and private placement deals.
Date: July 2, 2013
Financial Firms in the Headlines: UBS Charges Financial Planning Fees, MF Global Customers Seek to Cap Ex-Leaders’ Legal Defense Expenses, Ex-Thompson REIT CFO is Suspended
